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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-06-26 |
Branch Locations
303 Vintage Park Dr Ste 120, Foster City, CA 94404 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Massmutual Life Insurance Company | San Leandro | CA | 09/2014 | 04/2023 |
| Mml Investors Services Llc | San Leandro | CA | 12/2014 | 04/2023 |
| Lpl Financial, Llc | Hayward | CA | 06/2023 | Present |
1) 6/13/2023- Pacific Leader Financial and Insurance Services LLC- DBA for LPL Business (entity for LPL business)- Inv. Related- At reported business location(s) 2) 06/26/2023 - Pacific Leader Financial and Insurance Services - Non-Variable Insurance- Agent - Inv. Related- At reported business locations(s) - start date 3/22/2019- 20 Hours Per Month/ 3 Hours During Securities Trading - Time Spent 30% 3) 02/03/2025 -Pacific Wealth Management Group - Investment Related - DBA for LPL Business (entity for LPL business) - At Reported Business Location(s) - Start Date:01/01/2025 - 10 Hrs/Mth - 10 Hrs During Trading. 4) 11/10/2025- Matador Risk - Other - Executive Protection - Security agent - Not Investment Related - Various locations - Start Date 11/07/2025 - 10 hours per month/ 0 hours during trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-10-14 |
| S63 | Uniform Securities Agent State Law Examination | 2015-05-09 |
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